DFX Intelligence

K••••••• M••••••• J•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

K••••••• M••••••• J•••••••

Advisor at C•••••• S••••• • C••• I•••

Montgomery, AL | Alpharetta, GA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 25, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 24, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Jun 1, 2012	n/a	yes	Montgomery, AL\|Alpharetta, GA	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Oct 5, 2009	May 17, 2012	no	PRATTVILLE, AL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	C•••••• S••••• • C••• I•••	May 17, 2012	Jun 1, 2012	15	Firm change	Ibd to ibd
A••••••••• A•••••• S•••••••• I•••	A••••••••• F•••••••• S•••••••• L••	Oct 5, 2009	Oct 5, 2009

Relationships

Registered with (5)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Jun 1, 2012 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Oct 5, 2009 to May 17, 2012factForm ADV
→ A••••••••• A•••••• S•••••••• I•••Registered adviserregistration: previous registration
Feb 4, 2009 to Oct 5, 2009factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 25, 2005
Last observed: Sep 14, 2026 9 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.